CIK 85338
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-03-30). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-03-30. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| ELLERGODT, CURTIS ROBERT | FINOP | 2023-12 | <5% |
| FRANKE, JAMES ALLYN | MEMBER, OFFICER | 2023-09 | <5% |
| LENART, BRIAN DOUGLAS | CCO/AMLCO | 2024-01 | <5% |
| SOLOMON, JOEL EDWARD I MEMBER, OFFICER 10/2022 NA Y 704990 JOHNSON, PHILLIP EUGENE | MEMBER, PRESIDENT | 2023-09 | <5% |
| ROTHSCHILD HOLDINGS, LLCentity | OWNER | 2023-11 | 75%+ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| SOLOMON, JOEL EDWARD | MEMBER, OFFICER · EXECUTIVE VICE PRESIDENT / SECRETARY/ROSFP · VICE PRESIDENT / SECRETARY/ROSFP | 2024-06 | — not seen at a tracked firm |
| KARGER, RICHARD FOREMAN | OFFICER · CHAIRMAN, CHIEF EXC. OFFICER, DIRECTOR · CHAIRMAN, CHIEF EXC. OFFICER / PRESIDENT, DIRECTOR | 2023-05 | — not seen at a tracked firm |
| GERINGER, PAUL EDWARD | OFFICER · EXECUTIVE VP/ DIRECTOR | 2023-05 | — not seen at a tracked firm |
| DRAKE, BRADLEY CHARLES | OFFICER, CCO · EXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO · VICE PRESIDENT / CHIEF COMPLIANCE OFFICER / CHIEF ADM OFFICER / ROSFP/ DIRECTOR, CFO | 2023-05 | — not seen at a tracked firm |
| BONGA, BART RICHARD | PRESIDENT · EXECUTIVE VICE PRESIDENT · VICE PRESIDENT | 2022-10 | — not seen at a tracked firm |
| STEINER, ROBERT MELVIN | EXECUTIVE VICE PRESIDENT | 2021-10 | — not seen at a tracked firm |
| BONGA, DALE RICHARD | EXEC. VP, | 2014-10 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
